Securities and Exchange Commission (SEC) and Public Company Accounting Oversight Board (PCAOB) Defense Attorney in San Diego, CA.
Attorneys at LAWSTACHE™ LAW FIRM have experience litigating civil securities cases. SEC investigations are a very serious threat to your business and your professional reputation. In addition to disciplinary actions and consequences that may apply within the securities industries, an SEC investigation can have criminal consequences.
We provide assistance with the following:
- Breach of contract
- Excessive trading
- Insider trading
- Misrepresenting or omitting important information about securities
- Manipulating market prices of securities
- Unsuitable investments
- Unauthorized trades
- Breach of fiduciary duty
- Over-concentration
- Failure to execute trades
- Failure to supervise brokers
- Margin account abuse
- Registration violations
- Selling unregistered securities
- Professional negligence
- Market manipulation
If you have received a notice that you are under investigation for a securities violation, please call one of our attorney. The SEC usually starts with an informal inquiries. SEC agents will often request information from the person of interest in the investigation. Cooperation may be beneficial to you, but talk to an experienced attorney first.
If the officers feel that a misconduct occurred, they will proceed with a Formal Order of Investigation. SEC investigations are civil in nature, but U.S. Department of Justice may bring criminal charges as well.
Attorneys at LAWSTACHE™ LAW FIRM handle both the civil and criminal aspects of the SEC investigations.
Our office is conveniently located in downtown San Diego at 835 5th Avenue, Suite 200A.
You can reach our office by calling (619) 357-6677.
CJA Panel Attorney | ★★★★★ Reviews | Affordable Payment Plans
We are available to take appointments on weekdays and weekends. We accept all major credit cards.